SEC Form 4 · accession 0001444363-17-000065
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Glenn Henry Stevens
Officer — President, CEO & Director · Director
Period of report
May 22, 2017
Accepted (ET)
May 23, 2017 · 3:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001444363
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 22, 2017 | M | 40,000 | $3.83 | A | 1,649,900 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $3.83 | May 22, 2017 | M | 40,000 | D | — | — | Common Stock | 40,000 | 58,743 | D |
Explanation of responses
- F1Reflects shares acquired upon exercise of stock options listed in Table II below.
- F2Such stock options were granted on July 28, 2010 and vested ratably over four years, with one-fourth of the options vesting on each of the first four anniversaries of the grant date. The options have term of ten years.